Become a Securities Compliance Examiner: A Career at the SEC

Are you looking to make a meaningful impact on the integrity of the American financial system? The Securities and Exchange Commission (SEC) is currently hiring for the role of Securities Compliance Examiner within the Division of Examinations. This is a unique opportunity to join a team of experts dedicated to regulating the security-based swap market and protecting investors.

Position Overview

As a Securities Compliance Examiner, your primary responsibility will be to conduct examinations of market intermediaries. This includes, but is not limited to, security-based swap dealers and execution facilities. You will analyze risk, investigate financial practices, and ensure entities are complying with the Securities Exchange Act of 1934.

Core Responsibilities

Conducting nationwide examinations of registered securities-related financial institutions.
Evaluating business models for potential market risks using quantitative and qualitative data.
Executing complex risk-based examination plans.
Interviewing principals and reviewing books, records, and financial statements.
Drafting comprehensive reports and recommendations for senior leadership and other regulatory bodies.

Comparison: SK-13 vs SK-14 Roles

Feature	SK-13 Level	SK-14 Level
Required Experience	1 Year equivalent to SK-12	1 Year equivalent to SK-13
Market Focus	General Securities/Institutional	Complex Derivatives/Swaps
Responsibility	Mid-level examiner functions	High-level risk assessment/investigation

Requirements

To be considered for this prestigious role, you must meet stringent qualification requirements. Candidates must demonstrate deep knowledge of the Securities Exchange Act of 1934 and possess specific experience in examining financial institutions. Technical proficiency with data management software, such as SQL or advanced Excel, is vital for the data-driven work performed at the SEC.

Salary and Benefits

The salary range for this position is $130,280 to $267,168 per year, depending on the specific location and pay-setting procedures. Beyond the base pay, the SEC provides:

Standard Federal health and retirement benefits.
Opportunities for career advancement and professional growth.
A work-life balance that supports personal and family needs.

How to Apply

Applying for a federal position requires precision. Follow these steps:

Prepare your Resume: Ensure it is strictly under two pages and clearly highlights your specialized experience.
Submit Documentation: Use the USAJOBS portal to upload all required documentation, including your questionnaire responses and any veteran/CTAP forms.
Monitor Your Application: Keep track of your status through the USAJOBS website.

If you possess the analytical skills and regulatory experience necessary to protect the American investing public, the SEC wants to hear from you. This role offers not just a job, but a career path dedicated to the integrity of global capital markets.

Why This Securities Compliance Examiner Job Matters

Protect the integrity of the nation's financial markets while advancing your career at the Securities and Exchange Commission.

Securities Compliance Examiner Job Overview

The SEC's Division of Examinations is seeking skilled Securities Compliance Examiners to join the Office of Security-Based Swaps. In this pivotal role, you will perform critical examinations of security-based swap dealers and execution facilities, ensuring market participants adhere to the Securities Exchange Act of 1934. You will collaborate with a multidisciplinary team to evaluate financial risks, analyze complex market data, and uphold the highest standards of regulatory compliance.

Requirements for Securities Compliance Examiner

U.S. Citizenship.
For SK-13: Minimum of one year of specialized experience at the GS/SK-12 level.
For SK-14: Minimum of one year of specialized experience at the GS/SK-13 level.
Proficiency in interpreting the Securities Exchange Act of 1934 and related federal regulations.
Experience in examining or auditing financial institutions such as broker-dealers, investment advisers, or swap dealers.
Ability to analyze securities industry data using relational database management systems (SQL, Oracle) or advanced Microsoft Excel.
Ability to complete an Accomplishment Record within 3 business days if contacted.
Resume limited strictly to two pages.

Preferred Qualifications for Securities Compliance Examiner

Extensive experience in the regulation or operation of derivatives markets.
Demonstrated proficiency in assessing valuation, risk management, and trading documentation.
Strong evidence of collaborative teamwork and technical report writing skills.
Proven ability to translate complex quantitative findings into actionable regulatory recommendations.

Federal Benefits & Perks

✓Competitive federal salary and locality pay adjustments.
✓Comprehensive health, dental, and vision insurance options.
✓Federal retirement benefits including the Thrift Savings Plan (TSP).
✓Opportunities for professional development and exposure to industry-leading experts.
✓Work-life balance programs.
✓Generous paid leave and federal holiday schedule.

💡 How to Apply Securities Compliance Examiner Job & Insider Tips

Application Steps for Securities Compliance Examiner Job

Create or log into your USAJOBS account.
Complete the required online questionnaire.
Upload a resume (strictly limited to two pages) highlighting relevant specialized experience.
Submit the application package by 11:59 PM EST on the closing date.
Prepare an Accomplishment Record in advance (to be submitted if requested by HR).
Monitor your status via the USAJOBS tracker.

💡 General Tips

Ensure your resume explicitly details your experience in the language of the competencies requested.
Keep your resume under two pages; exceeding this limit will result in immediate disqualification.
Start drafting your Accomplishment Record responses now, as you will only have 3 business days to submit them if requested.
Review your application package for completeness to avoid delays or disqualification due to missing documents.
Check your USAJOBS notifications frequently for status updates.

Frequently Asked Questions

What is the page limit for the resume?

Resumes must not exceed two pages. Resumes exceeding this limit will not be considered.

What if I do not have my Accomplishment Record ready?

You are encouraged to draft it in advance. If found minimally qualified, you will have only 3 business days to submit it, so being prepared is essential.

Is a security clearance required?

Yes, this position is designated as High Risk (HR) and requires a suitability/fitness investigation.

What is the most common reason for disqualification?

Submitting a resume that exceeds the two-page limit or failing to clearly demonstrate the 'specialized experience' required for the grade level.

Can I submit my Accomplishment Record after the deadline?

No. If you are contacted to provide an Accomplishment Record, you have 3 business days. Missed deadlines result in immediate removal from consideration.

Job from Securities And Exchange Commission

The SEC’s mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. As an employee of the SEC, you will work alongside some of the brightest minds in the financial industry. The agency offers a rewarding professional environment, competitive compensation, and the chance to contribute to high-stakes investigations and oversight.